FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056477801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pluris Capital Group, Inc., Respondent Member Firm BD No. 30811 John Fletcher, Respondent General Securities Representative CRD No. 2750926 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Pluris Capital Group, Inc, ("Pluris” or the "Firm”) and John Fletcher (collectively, "Respondents”) submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054659401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederic O’Hara, Respondent General Securities Representative CRD No. 351490 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Frederic O'Hara (“O’Hara”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on